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SEC Approves New FINRA Best Execution and Interpositioning Rule

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January 11, 2012
Client Alert

The Securities and Exchange Commission recently approved a rule change proposed by the Financial Industry Regulatory Authority, Inc. relating to the “best execution” obligation of broker-dealers. The changes adopt existing NASD Rule 2320 (Best Execution and Interpositioning) and related Interpretive Materials as new FINRA Rule 5310 and related Supplementary Material with the following changes:

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